Betsy J. Cole
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Betsy Joann Cole, who also goes by Betsy Joann Kellenbeck, was a registered financial professional .
Betsy is a previously registered financial professional and started their career in finance in 2004. Betsy had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2021 - February 18, 2026
THE CLARIUS GROUP, LLC
June 19, 2019 - November 19, 2021
HIGHLAND PRIVATE WEALTH MANAGEMENT
August 1, 2017 - June 21, 2019
NEWGROUND SOCIAL INVESTMENT
December 18, 2015 - July 6, 2017
D.A. DAVIDSON & CO.
December 18, 2015 - July 6, 2017
D.A. DAVIDSON & CO.
November 20, 2013 - December 10, 2015
PRIVATE CLIENT SERVICES, LLC
January 6, 2012 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
November 29, 2011 - November 19, 2015
TRUTINA FINANCIAL
July 7, 2011 - November 10, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2011 - November 10, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2008 - January 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 17, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 19, 2004 - February 14, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 2004 - February 14, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
THE CLARIUS GROUP, LLC
CRD#: 173347 / SEC#: 801-80681
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE CLARIUS GROUP, LLC
CRD#: 173347 / SEC#: 801-80681
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,511 |
| AUM (Assets Under Management) | $ 4,680,010,497 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 01/09/2025 | ||
| 07/25/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
